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Exemption Notice 2014 - Securities Act (Indivior plc)

Securities Act (Indivior plc) Exemption Notice 2014

Declaration by senior manager of related body

This declaration should be completed by the the senior manager of a related body when applying for a market service licence. This is relevant to senior managers of crowd funding services; peer-to-peer; MIS managers; DIMS providers; Derivative issuers and independent trustees.

Declaration by individual relevant party such as owner

Declaration form to be completed by an individual relevant party such as an owner when applying for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, as defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).

Declaration by director of relevant party to license

Declaration form to be completed by director of a relevant party when the Applicant has applied for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, as defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).

Declaration by senior manager of relevant party

This declaration form should be completed by senior managers of a relevant party when applying for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).

Reporting duties under Part 4 of the FMC Act

This information sheet outlines the new reporting duties under the Financial Markets Conduct Act 2013 (FMC Act) for debt issuers, managers of managed investment schemes, supervisors, auditors, investment managers, administration managers, custodians and actuaries.

FMA Annual Report 2014

FMA Annual Report 2014,

Exemption Amendment Notice 2014 - Securities Act (Tairua Marina)

Securities Act (Tairua Marina) Exemption Amendment Notice 2014

Getting the best outcome from your AMLCFT Audit

This information is intended to help our REs, especially small financial adviser businesses, get value from their AML/CFT Audit. Adopting all (or any) of these items in discussions with auditors is optional, but we believe that by considering these suggestions, REs are more likely to achieve the best possible results from their audit.

Reporting duties under Part 4 of the FMC Act Information Sheet and Table

This information sheet outlines the new reporting duties under the Financial Markets Conduct Act 2013 (FMC Act) for debt issuers, managers of managed investment schemes, supervisors, auditors, investment managers, administration managers, custodians and actuaries.

KiwiSaver Report 2014

This KiwiSaver Report 2014 has been prepared in accordance with section 194 of the Act. It details the principal matters transacted under the Act during the period 1 July 2013 to 30 June 2014 (the Reporting Period), and contains the seventh annual summary of the statistical returns required to be lodged by KiwiSaver schemes under section 125 of the Act, as at 31 March 2014.

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